Equities Compliance Officer, Global Markets Compliance (6 month contract – maternity cover) Equities Compliance Officer, Global Markets  …

Nomura Asia
in Hong Kong
Contract, Full time
Last application, 06 Mar 21
Excellent
Nomura Asia
in Hong Kong
Contract, Full time
Last application, 06 Mar 21
Excellent
Posted by:
Jeetu Chandnani • Recruiter
Posted by:
Jeetu Chandnani
Recruiter
Job Title: Equities Compliance Officer, Global Markets Compliance (6 month contract – maternity cover) Corporate Title: N/A Division: Corporate Location: Hong Kong

Nomura Overview

Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking) and Merchant Banking. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.

Job/Group Overview:

Providing compliance coverage to Asia ex-Japan Equities business (Sales and Trading, Prime Services and Futures & Options etc).  Providing support to other compliance initiatives / projects for Asia ex-Japan Global Markets business.

Responsibilities

  • Providing day-to-day compliance support to the Asia  ex-Japan Compliance team and Asia ex-Japan Equities business;
  • Performing compliance review;
  • Compiling internal management report;
  • Keep track of regulatory requirements and update the relevant parties;
  • Compiling response for regulatory inquiries, reporting and surveys

Requirements

  • College Degree minimum.  Degree holder of Law, Accounting, Finance, Business or other related disciplines.
  • 2-4 years of relevant working experience preferably in Compliance, Audit, or Operations with broad knowledge of Equities products and exposure to Global Markets
  • Good communication and inter-personal skills; Reliable with integrity, responsibility and organized team player;
  • Ability to work multiple tasks concurrently 
  • Excellent skill in spoken and written English. Cantonese and Mandarin would be added advantage. 

Diversity Statement

Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.

DISCLAIMERThis Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job.  The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time. 

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